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Blog: Current Investigations - Page 34

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August 25, 2015

Meyer Wilson Investigates Allegations Made Against Jack Allen Scherbert

In 2014, FINRA started an investigation into Jack Allen Scherbert (CRD# 1882576) , formerly of Wells Fargo Advisors. The FINRA...
August 24, 2015

Meyer Wilson Investigates Accusations Involving Glenn A. Moffitt

Glenn Allen Moffitt (CRD# 4767024) accepted and consented to FINRA’s findings that he failed to appear for testimony in conjunction with an...
August 21, 2015

Meyer Wilson Investigates Allegations Against Bennett Scott Broad

Meyer Wilson is currently investigating complaints concerning Bennett Scott Broad (CRD # 702460). According to his FINRA report, he has...
August 17, 2015

Meyer Wilson Investigates Former Broker Bryan Anderson for Allegedly Employing Ponzi Scheme

Former financial broker, Bryan W. Anderson, is under investigation by FINRA for allegedly defrauding his investors of over $8.4 million...
August 13, 2015

Brian Berger Accused of Stealing From Elderly Clients, Meyer Wilson Investigates

Brian Michael Berger (CRD# 3208127), formerly registered with Wells Fargo Advisors and MetLife Securities has been accused by a customer of misappropriating funds. In...
August 12, 2015

Meyer Wilson Investigates Allegations of Malcolm Babin Misappropriating Funds

Malcolm J. Babin (CRD# 5387332), formerly registered with PFS Investments, was recently barred from the securities industry. Babin accepted and consented to...
August 12, 2015

Charlotte Guin Accused of Investment Misconduct, Meyer Wilson Investigates

Meyer Wilson is currently investigating misconduct allegations facing a former JP Morgan broker, Charlotte Ann Guin (CRD# 4050796). Guin accepted and...
August 7, 2015

Man and Sons Charged With Stealing $18 Million in Mail, Wire Fraud Scheme

A Tennessee man, Larry Bates, and his sons, Robert and Charles, are under investigation by the U.S. Postal Inspection Service...
August 7, 2015

Aegis Capital Corp. & Representatives Implicated in Microcap Stock Scheme

FINRA has named Aegis Capital Corp., Charles D. Smulevitz (CRD# 5099387), and Kevin C. McKenna (CRD# 1343870) in a complaint...
August 5, 2015

Lori Ann Artzberger Barred From Securities Industry

SEC filed an order instituting administrative proceedings in the case of Lori Ann Artzberger (CRD# 1324218), formerly a registered representative with The...
July 17, 2015

Former Broker Jeffrey Alan Stewart Accused of Converting Customer Funds

Jeffrey Alan Stewart (CRD# 4178470) has been accused of converting $54,000 from his customers, impersonating a customer in order to...
July 14, 2015

Meyer Wilson Investigates Misconduct Allegations Facing Former LPL Broker Julius Kenney

Julius Franklin Kenney IV (CRD# 5500248) has been accused by FINRA of participating in an investment that was outside the...

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